As a Litigation Partner at Morgan Lewis & Bockius LLP and Latham & Watkins LLP, I specialized in defending securities enforcement investigations and related litigation brought by the SEC, DOJ, CFTC, FINRA and state regulators.
Most of my clients have been major financial institutions and their officers and employees. These representations have involved sales violations, research violations, insider trading and other forms of market abuse and related supervisory issues. The individuals I have represented include senior officers and managers as well as in-house counsel and compliance personnel.
I have also represented public companies and their officers as well as accounting firm partners in SEC investigations involving financial and accounting fraud and auditor independence.
I have also represented many of these institutions and individuals in related white collar investigations by federal and state prosecutors for business-related crimes.
Corporate Corruption Unit: handled all aspects of grand jury investigation, pre-trial and trial of criminal matters involving fraudulent business conduct and commercial or political bribery
Appeals Unit: handled all aspects of criminal appeals (review of trial record, briefing and arguing appeals before 3d Cir. Court of Appeals)
Award: DOJ Director’s Award for Superior Performance as an Assistant U.S. Attorney
Martindale Peer Review Rating 2016: "AV Preeminent, 5.0 out of 5"
The Best Lawyers in America© 2015, 2016 and 2017:
• selected by peers for inclusion in the fields of Administrative/Regulatory Law, Litigation – Securities and Securities Regulation.
• named the Best Lawyers® 2014-15 Administrative / Regulatory Law “Lawyer of the Year” in New York City.